TITLE 9. HEALTH SERVICES CHAPTER 11. DEPARTMENT ...REPORTING Article 4, consisting of Sections...

Arizona Administrative Code Title 9, Ch. 11Department of Health Services – Health Care Institution Facility Data

December 31, 2013 Page 1 Supp. 13-4

TITLE 9. HEALTH SERVICES

CHAPTER 11. DEPARTMENT OF HEALTH SERVICESHEALTH CARE INSTITUTION FACILITY DATA

Editor’s Note: The headings for Articles 3, 4, and 5 were amended or created as part of a Notice of Recodification published at 10A.A.R. 3835, effective August 24, 2004. The Department of Health Services did not go through regular rulemaking to make thesechanges (Supp. 04-3).

Editor’s Note: The Office of the Secretary of State publishes all Code Chapters on white paper (Supp. 03-2).

Chapter 11, consisting of Article 1 (Sections R9-11-101 through R9-11-109) and Article 2 (Sections R9-11-201 and R9-11-202)adopted effective June 25, 1993, through an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws 1992, Ch. 197, § 2. Exemptionfrom A.R.S. Title 41, Chapter 6 means that the Department did not submit notice of this rulemaking to the Secretary of State’s Office forpublication in the Arizona Administrative Register; the Department did not submit these rules to the Governor’s Regulatory Review Coun-cil for review; the Department was not required to hold public hearings on these rules; and the Attorney General has not certified theserules. Because this Chapter contains rules which are exempt from the regulator rulemaking process, the Chapter is printed on blue paper.

Chapter 11, consisting of Article 1 (Sections R9-11-101 through R9-11-121), Article 2 (Sections R9-11-201 through R9-11-213), andArticle 3 (Section R9-11-301) repealed effective June 25, 1993, through an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws1992, Ch. 197, § 2. Exemption from A.R.S. Title 41, Chapter 6 means that the Department did not submit notice of this rulemaking to theSecretary of State’s Office for publication in the Arizona Administrative Register; the Department did not submit these rules to the Gov-ernor’s Regulatory Review Council for review; the Department was not required to hold public hearings on these rules; and the AttorneyGeneral has not certified these rules.

ARTICLE 1. DEFINITIONS

Article 1, consisting of Sections R9-11-101 through R9-11-109,adopted effective June 25, 1993, through an exemption from A.R.S.Title 41, Chapter 6 pursuant to Laws 1992, Ch. 197, § 2; receivedin the Office of the Secretary of State June 10, 1993 (Supp. 93-2).

Article 1, consisting of Sections R9-11-101 through R9-11-121,repealed effective June 25, 1993, through an exemption from A.R.S.Title 41, Chapter 6 pursuant to Laws 1992, Ch. 197, § 2; receivedin the Office of the Secretary of State June 10, 1993 (Supp. 93-2).SectionR9-11-101. DefinitionsR9-11-102. RecodifiedR9-11-103. RecodifiedR9-11-104. RecodifiedR9-11-105. RecodifiedR9-11-106. RecodifiedR9-11-107. RecodifiedR9-11-108. RecodifiedR9-11-109. RecodifiedR9-11-110. RepealedR9-11-111. RepealedR9-11-112. RepealedR9-11-113. RepealedR9-11-114. RepealedR9-11-115. RepealedR9-11-116. RepealedR9-11-117. RepealedR9-11-118. RepealedR9-11-119. RepealedR9-11-120. RepealedR9-11-121. Repealed

ARTICLE 2. ANNUAL FINANCIAL STATEMENTS AND UNIFORM ACCOUNTING REPORTS

Article 2, consisting of Sections R9-11-201 and R9-11-202,adopted effective June 25, 1993, through an exemption from A.R.S.Title 41, Chapter 6 pursuant to Laws 1992, Ch. 197, § 2; receivedin the Office of the Secretary of State June 10, 1993 (Supp. 93-2).

Article 2, consisting of Sections R9-11-211 through R9-11-213,

repealed effective June 25, 1993, through an exemption from A.R.S.Title 41, Chapter 6 pursuant to Laws 1992, Ch. 197, § 2; receivedin the Office of the Secretary of State June 10, 1993 (Supp. 93-2).SectionR9-11-201. DefinitionsR9-11-202. Hospital Annual Financial StatementR9-11-203. Hospital Uniform Accounting ReportR9-11-204. Nursing Care Institution Uniform Accounting

ReportR9-11-205. Hospice Uniform Accounting ReportR9-11-206. ReservedR9-11-207. ReservedR9-11-208. ReservedR9-11-209. ReservedR9-11-210. ReservedR9-11-211. RepealedR9-11-212. RepealedR9-11-213. Repealed

ARTICLE 3. RATES AND CHARGES SCHEDULES

Article 3, consisting of Section R9-11-301 and R9-11-302,adopted effective February 22, 1995, through an exemption fromA.R.S. Title 41, Chapter 6 pursuant to Laws 1994, Ch. 115, § 9(Supp. 95-1).

Article 3, consisting of Section R9-11-301, repealed effectiveJune 25, 1993, through an exemption from A.R.S. Title 41, Chapter6 pursuant to Laws 1992, Ch. 197, § 2; received in the Office of theSecretary of State June 10, 1993 (Supp. 93-2).SectionR9-11-301. DefinitionsR9-11-302. Hospital Rates and Charges Schedule Table 1. RecodifiedR9-11-303. Nursing Care Institution Rates and Charges Sched-

uleR9-11-304. Home Health Agency Rates and Charges ScheduleR9-11-305. Outpatient Treatment Center Rates and Charges

ScheduleR9-11-306. ExpiredR9-11-307. Expired

Supp. 13-4 Page 2 December 31, 2013

Title 9, Ch. 11 Arizona Administrative CodeDepartment of Health Services – Health Care Institution Facility Data

ARTICLE 4. HOSPITAL INPATIENT DISCHARGE REPORTING

Article 4, consisting of Sections R9-11-401 and R9-11-402,made by final rulemaking at 9 A.A.R. 2105, effective June 3, 2003(Supp. 03-2).SectionR9-11-401. DefinitionsR9-11-402. Reporting Requirements Table 1. Repealed

ARTICLE 5. EMERGENCY DEPARTMENT DISCHARGE REPORTING

SectionR9-11-501. DefinitionsR9-11-502. Reporting Requirements

ARTICLE 1. DEFINITIONS

R9-11-101. DefinitionsIn this Chapter, unless otherwise specified:

1. “Admission” or “admitted” means documented accep-tance by a health care institution of an individual as aninpatient of a hospital, a resident of a nursing care institu-tion, or a patient of a hospice.

2. “AHCCCS” means the Arizona Health Care Cost Con-tainment System, established under A.R.S. § 36-2902.

3. “Allowance” means a charity care discount, self-pay dis-count, or contractual adjustment.

4. “Arizona facility ID” means a unique code assigned to ahospital by the Department to identify the source of inpa-tient discharge or emergency department discharge infor-mation.

5. “Assisted living facility” means the same as in A.R.S. §36-401.

6. “Attending provider” means the medical practitioner whohas primary responsibility for the services a patientreceives during an episode of care.

7. “Available bed” means an inpatient bed or resident bed,as defined in A.R.S. § 36-401, for which a hospital, nurs-ing care institution, or hospice has health professionalsand commodities to provide services to a patient or resi-dent.

8. “Bill” means a statement for money owed to a health careinstitution for the provision of the health care institution’sservices.

9. “Business day” means any day of the week other than aSaturday, a Sunday, a legal holiday, or a day on which theDepartment is authorized or obligated by law or execu-tive order to close.

10. “Calendar day” means any day of the week, including aSaturday or a Sunday.

11. “Cardiopulmonary resuscitation” means the same as inA.R.S. § 36-3251.

12. “Charge” means a specific dollar amount set by a healthcare institution for the use or consumption of a unit ofservice provided by the health care institution.

13. “Charge source” means the unit within a health care insti-tution that provided services to an individual for whichthe individual’s payer source is billed.

14. “Charity care” means services provided without charge toan individual who meets certain financial criteria estab-lished by a health care institution.

15. “Chief administrative officer” means the same as inA.A.C. R9-10-101.

16. “Chief financial officer” means an individual who isresponsible for the financial records of a health care insti-tution.

17. “Classification” means a designation that indicates thetypes of services a hospital provides.

18. “Clinical evaluation” means an examination performedby a medical practitioner on the body of an individual forthe presence of disease or injury to the body, and reviewof any laboratory test results for the individual.

19. “Code” means a single number or letter, a set of numbersor letters, or a combination of numbers and letters thatrepresents specific information.

20. “Commodity” means a non-reusable material, such as asyringe, bandage, or IV bag, utilized by a patient or resi-dent.

21. “Contractual adjustment” means the difference betweencharges billed to a payer source and the amount that ispaid to a health care institution based on an establishedagreement between the health care institution and thepayer source.

22. “Control number” means a unique number assigned by ahospital for an individual’s specific episode of care.

23. “Department” means the Arizona Department of HealthServices.

24. “Designee” means a person assigned by the governingauthority of a health care institution or by an individualacting on behalf of the governing authority to gatherinformation for or report information to the Department.

25. “Diagnosis” means the identification of a disease orinjury, by an individual authorized by law to make theidentification, that is a cause of an individual’s currentmedical condition.

26. “Discharge” means a health care institution’s terminationof services to a patient or resident for a specific episodeof care.

27. “Discharge status” means the disposition of a patient,including whether the patient was:a. Discharged home,b. Transferred to another health care institution, orc. Died.

28. “DNR” means Do Not Resuscitate, a document preparedfor a patient indicating that cardiopulmonary resuscita-tion is not to be used in the event that the patient’s heartstops beating.

29. “E-code” means an International Classification of Dis-eases code that is used:a. In conjunction with other International Classifica-

tion of Diseases codes that identify the principal andsecondary diagnoses for an individual; and

b. To further designate the individual’s injury or illnessas being caused by events such as:i. An external cause of injury, such as a car acci-

dent;ii. A poisoning; oriii. An unexpected complication associated with

treatment, such as an adverse reaction to a med-ication or a surgical error.

30. “Electronic” means the same as in A.R.S. § 36-301.31. “Emergency” means the same as in A.A.C. R9-10-201.32. “Emergency department” means the unit within a hospital

that is designed for the provision of emergency services.33. “Emergency services” means the same as in A.A.C. R9-

10-201.34. “Episode of care” means medical services, nursing ser-

vices, or health-related services provided by a hospital to



a patient for a specific period of time, ending with a dis-charge.

35. “Fiscal year” means a consecutive 12-month periodestablished by a health care institution for accounting,planning, or tax purposes.

36. “Governing authority” means the same as in A.R.S. § 36-401.

37. “Health care institution” means the same as in A.R.S. §36-401.

38. “Health-related services” means the same as in A.R.S. §36-401.

39. “Home health agency” means the same as in A.R.S. § 36-151.

40. “Home health services” means the same as in A.R.S. §36-151.

41. “Home office” means the person that is the owner of andcontrols the functioning of a nursing care institution.

42. “Hospice” means the same as in A.R.S. § 36-401.43. “Hospital” means the same as in A.A.C. R9-10-201.44. “Hospital administrator” means the same as “administra-

tor” in A.A.C. R9-10-201.45. “Hospital services” means the same as in A.A.C. R9-10-

201.46. “Inpatient” means the same as in A.A.C. R9-10-201.47. “International Classification of Diseases Code” means a

code included in a set of codes such as the ICD-9-CM orICD-10-CM codes, which is used by a hospital for billingpurposes.

48. “Licensed capacity” means the same as in A.R.S. § 36-401.

49. “Management company” means an entity that:a. Acts as an intermediary between the governing

authority of a nursing care institution and the indi-viduals who work in the nursing care institution,

b. Takes direction from the governing authority of thenursing care institution, and

c. Ensures that the directives of the governing author-ity of the nursing care institution are carried out.

50. “Medical practitioner” means an individual who is:a. Licensed:

i. As a physician;ii. As a dentist, under A.R.S. Title 32, Chapter 11,

Article 2;iii. As a podiatrist, under A.R.S. Title 32, Chapter

7;iv. As a registered nurse practitioner, under A.R.S.

Title 32, Chapter 15;v. As a physician assistant, under A.R.S. Title 32,

Chapter 25; orvi. To use or prescribe drugs or devices for the

evaluation, diagnosis, prevention, or treatmentof illness, disease, or injury in human beings inthis state; or

b. Licensed in another state and authorized by law touse or prescribe drugs or devices for the evaluation,diagnosis, prevention, or treatment of illness, dis-ease, or injury in human beings in this state.

51. “Medical record number” means a unique numberassigned by a hospital to an individual for identificationpurposes.

52. “Medical services” means the same as in A.R.S. § 36-401.

53. “Medicare” means a federal health insurance programestablished under Title XVIII of the Social Security Act.

54. “National provider identifier” means the unique numberassigned by the Centers for Medicare and Medicaid Ser-vices to a health care institution, physician, registerednurse practitioner, or other medical practitioner to submitclaims and transmit electronic health information to allpayer sources.

55. “Newborn” means a human:a. Whose birth took place in the reporting hospital, orb. Who was:

i. Born outside a hospital,ii. Admitted to the reporting hospital within 24

hours of birth, andiii. Admitted to the reporting hospital before being

admitted to any other hospital.56. “Nursing care institution” means the same as in A.R.S. §

36-446.57. “Nursing care institution administrator” means the same

as in A.R.S. § 36-446.58. “Nursing services” means the same as in A.R.S. § 36-

401.59. “Patient” means the same as in A.A.C. R9-10-101.60. “Payer source” means an individual or an entity, such as a

private insurance company, AHCCCS, or Medicare, towhich a health care institution sends a bill for the servicesprovided to an individual by the health care institution.

61. “Physician” means an individual licensed as a doctor ofallopathic medicine under A.R.S. Title 32, Chapter 13, asa doctor of naturopathic medicine under A.R.S. Title 32,Chapter 14, or as a doctor of osteopathic medicine underA.R.S. Title 32, Chapter 17.

62. “Principal diagnosis” means the reason established after aclinical evaluation of a patient to be chiefly responsiblefor a specific episode of care.

63. “Principal procedure” means the procedure judged by anindividual working on behalf of a hospital to be:a. The most significant procedure performed during an

episode of care, orb. The procedure most closely associated with a

patient’s principal diagnosis.64. “Priority of visit” means the urgency with which a patient

required medical services during an episode of care.65. “Procedure” means a set of activities performed on a

patient that:a. Is intended to diagnose or treat a disease, illness, or

injury;b. Requires the individual performing the set of activi-

ties be trained in the set of activities; andc. May be invasive in nature or involve a risk to the

patient from the activities themselves or from anes-thesia.

66. “Prospective payment system” means a system of classi-fying episodes of care for billing and reimbursement pur-poses, based on factors such as diagnoses, age, and sex.

67. “Refer” means to direct an individual to a health careinstitution for services provided by the health care institu-tion.

68. “Referral source” means a code designating the entitythat referred or transferred a patient to a hospital.

69. “Registered nurse practitioner” means an individual whomeets the definition of registered nurse practitioner inA.R.S. § 32-1601, and is licensed under A.R.S. Title 32,Chapter 15.

70. “Reporting period” means the specific fiscal year, calen-dar year, or portion of the fiscal or calendar year forwhich a health care institution is reporting data to theDepartment.



71. “Residence” means the place where an individual lives,such as:a. A private home,b. A nursing care institution, orc. An assisted living facility.

72. “Resident” means the same as in:a. A.A.C. R9-10-701, orb. A.A.C. R9-10-901.

73. “Revenue code” means a code for a unit of service that ahospital includes on a bill for hospital services.

74. “Secondary diagnosis” means any diagnosis for an indi-vidual other than the principal diagnosis.

75. “Self-pay discount” means a reduction in charges billedto an individual.

76. “Service” means an activity performed as part of medicalservices, hospital services, nursing services, emergencyservices, health-related services, hospice services, homehealth services, or supportive services.

77. “Supportive services” means the same as in A.R.S. § 36-151.

78. “Transfer” means discharging an individual from a healthcare institution so the individual may be admitted toanother health care institution.

79. “Trauma center” means the same as in:a. A.R.S. § 36-2201, orb. A.R.S. § 36-2225.

80. “Treatment” means the same as in A.A.C. R9-10-101.81. “Type of” means a specific subcategory of the following

that is provided, enumerated, or utilized by a health careinstitution:a. An employee or contracted worker;b. An accounting concept, such as asset, liability, or

revenue;c. A non-covered ancillary charge;d. A payer source;e. A charge source;f. A medical condition; org. A service.

82. “Type of bed” means a category of available bed thatspecifies the services provided to an individual occupyingthe available bed.

83. “Unit” means an area within a health care institution thatis designated by the health care institution to provide aspecific type of service.

84. “Unit of service” means a procedure, service, commodity,or other item or group of items provided to a patient orresident for which a health care institution bills a payersource a specific amount.

85. “Written notice” means a document that is provided:a. In person,b. By delivery service,c. By facsimile transmission,d. By electronic mail, ore. By mail.

Historical NoteSection repealed, new Section adopted effective June 25,

1993, through an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws 1992, Ch. 197, § 2; received in the

Office of the Secretary of State June 10, 1993 (Supp. 93-2). Amended by final rulemaking at 13 A.A.R. 3648, effective

December 1, 2007 (Supp. 07-4).

R9-11-102. Recodified

Historical NoteSection repealed, new Section adopted effective June 25,

1993, through an exemption from A.R.S. Title 41, Chap-ter 6 pursuant to Laws 1992, Ch. 197, § 2; received in the Office of the Secretary of State June 10, 1993 (Supp. 93-2). Section recodified to R9-11-201 at 10 A.A.R. 3835,

effective August 24, 2004 (Supp. 04-3).


Historical NoteSection repealed, new Section adopted effective June 25, 1993, through an exemption from A.R.S. Title 41, Chap-ter 6 pursuant to Laws 1992, Ch. 197, § 2; received in the Office of the Secretary of State June 10, 1993 (Supp. 93-2). Section recodified to R9-11-301 at 10 A.A.R. 3835,


















Historical NoteSection repealed, new Section adopted effective June 25, 1993, through an exemption from A.R.S. Title 41, Chap-ter 6 pursuant to Laws 1992, Ch. 197, § 2; received in the



Office of the Secretary of State June 10, 1993 (Supp. 93-2). Section recodified to R9-11-307 at 10 A.A.R. 3835,


R9-11-110. Repealed

Historical NoteRepealed effective June 25, 1993, through an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws 1992, Ch. 197, § 2; received in the Office of the Secretary of

State June 10, 1993 (Supp. 93-2).

R9-11-111. Repealed

Historical NoteAdded Regulation 2-74. Repealed effective June 25, 1993, through an exemption from A.R.S. Title 41, Chapter 6 pur-suant to Laws 1992, Ch. 197, § 2; received in the Office of

the Secretary of State June 10, 1993 (Supp. 93-2).

R9-11-112. Repealed

Historical NoteAdded Regulation 2-74. Repealed effective June 25, 1993, through an exemption from A.R.S. Title 41, Chapter 6 pur-suant to Laws 1992, Ch. 197, § 2; received in the Office of


R9-11-113. Repealed

Historical NoteAdded Regulation 2.74. Repealed effective June 25, 1993, through an exemption from A.R.S. Title 41, Chapter 6 pur-suant to Laws 1992, Ch. 197, § 2; received in the Office of


R9-11-114. Repealed

Historical NoteAmended effective January 16, 1976 (Supp. 76-1).

Repealed effective June 25, 1993, through an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws 1992, Ch. 197, § 2; received in the Office of the Secretary of

State June 10, 1993 (Supp. 93-2).

R9-11-115. Repealed

Historical NoteRepealed effective January 16, 1976 (Supp. 76-1).


State June 10, 1993 (Supp. 93-2).

R9-11-116. Repealed


State June 10, 1993 (Supp. 93-2).

R9-11-117. Repealed

Historical NoteDepartment correction of Form number (Supp. 75-1).

Amended effective June 30, 1987 (Supp. 87-2). Repealed effective June 25, 1993, through an exemption from

A.R.S. Title 41, Chapter 6 pursuant to Laws 1992, Ch. 197, § 2; received in the Office of the Secretary of State

June 10, 1993 (Supp. 93-2).

R9-11-118. Repealed

Historical NoteDepartment correction of language of Regulation heading, Department correction of subsections (B) through (H). Ini-

tially this material was available upon request; it is now printed in full (Supp. 75-1). Amended effective June 30,

1987 (Supp. 87-2). Repealed effective June 25, 1993, through an exemption from A.R.S. Title 41, Chapter 6 pur-suant to Laws 1992, Ch. 197, § 2; received in the Office of


R9-11-119. Repealed


State June 10, 1993 (Supp. 93-2).

R9-11-120. Repealed


State June 10, 1993 (Supp. 93-2).

R9-11-121. Repealed

Historical NoteDepartment correction of language of regulation heading. Department correction of subsections (B) through (G) ini-tially this materially was available upon request, it is now printed in full (Supp. 75-1). Repealed effective June 25,

1993, through an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws 1992, Ch. 197, § 2; received in the

Office of the Secretary of State June 10, 1993 (Supp. 93-2).

ARTICLE 2. ANNUAL FINANCIAL STATEMENTS AND UNIFORM ACCOUNTING REPORTS

R9-11-201. DefinitionsIn this Article, unless otherwise specified:

1. “Accredited” means the same as in A.R.S. § 36-422.2. “ALTCS” means the Arizona Long-term Care System

established under A.R.S. § 36-2932.3. “Asset” means the same as “asset” in generally accepted

accounting principles.4. “Assisted living facility-based hospice” means a hospice

that operates as a part of an assisted living facility.5. “Audit” means the same as “audit” in generally accepted

accounting principles.6. “Bereavement services” means activities provided by or

on behalf of a hospice to the family or friends of an indi-vidual that are intended to comfort the family or friendsbefore and after the individual’s death.

7. “Building improvement” means an addition to or recon-struction, removal, or replacement of any portion or com-ponent of an existing building that affects licensedcapacity, increases the useful life of an available bed, orenhances resident safety.

8. “Caseload” means the number of assigned patients forwhich an individual working for a hospice is to providehospice services.

9. “Certified nursing assistant” means the same as “nursingassistant” in A.R.S. § 32-1601.



10. “Chaplain” means an individual trained to offer support,prayer, and spiritual guidance to a patient and thepatient’s family.

11. “Continuous care” means hospice services provided in apatient’s residence to a patient who requires nursing ser-vices to be available 24 hours a day.

12. “Contracted worker” means an individual who:a. Performs:

i. Hospital services in a hospital,ii. Nursing services or health-related services in a

nursing care institution,iii. Hospice services for a hospice, oriv. Labor as a medical record coder or transcrip-

tionist for a hospital; andb. Is paid by a person with whom the hospital, nursing

care institution, or hospice has a written agreementto provide hospital services, nursing services,health-related services, hospice services, or medicalrecord coder or transcriptionist labor.

13. “Covered services” means hospice services that are pro-vided to an individual by a hospice and are paid for by apayer source.

14. “Daily census” means a count of the number of patientsto whom hospice services were provided during a 24-hour period.

15. “Direct care” means services provided to a resident thatrequire hands-on contact with the resident.

16. “Direction” means the same as in A.R.S. § 36-401.17. “Employee” means an individual other than a contracted

worker who works for a health care institution for com-pensation and provides or assists in the provision of a ser-vice to patients or residents.

18. “Employee-related expenses” means costs incurred by anemployer to pay for the employer’s portion of SocialSecurity taxes, Medicare taxes, and other costs such ashealth insurance.

19. “Equity” means the same as “equity” in generallyaccepted accounting principles.

20. “Expense” means the same as “expense” in generallyaccepted accounting principles.

21. “Free-standing” means that a health care institution doesnot operate as part of another health care institution.

22. “FTE” means full-time equivalent position, which is a jobfor which a health care institution expects to pay an indi-vidual for 2,080 hours per year.

23. “Generally accepted accounting principles” means the setof financial reporting standards administered by theFinancial Accounting Standards Board, the Governmen-tal Accounting Standards Board, or other specialized bod-ies dealing with accounting and auditing matters.

24. “Health professional” means the same as in A.R.S. § 32-3201.

25. “Home health agency-based hospice” means a hospicethat operates as part of a home health agency.

26. “Hospice administrator” means the chief administrativeofficer for a hospice.

27. “Hospice chief financial officer” means an individualwho is responsible for the financial records of a hospice.

28. “Hospice inpatient facility” means the same as in A.A.C.R9-10-801.

29. “Hospice service” means the same as in A.A.C. R9-10-801.

30. “Hospice service agency” means the same as in A.R.S. §36-401.

31. “Hospital-based hospice” means a hospice that operatesas a part of a hospital.

32. “Income” means the same as “income” in generallyaccepted accounting principles.

33. “Inpatient services” means the same as in A.A.C. R9-10-801.

34. “Inpatient surgery” means surgery that requires a patientto receive inpatient services in a hospital.

35. “Level of care” means a designation that indicates thescope of medical services, nursing services, and health-related services that are provided to a patient or resident.

36. “Liability” means the same as “liability” in generallyaccepted accounting principles.

37. “Licensed nurse” means a registered nurse practitioner,registered nurse, or practical nurse.

38. “Licensee” means the same as in R9-10-101.39. “Median length of stay” means the midpoint in the num-

ber of patient care days for all patients who were dis-charged from a hospice during a specific period of time.

40. “Medicaid” means a federal health insurance program,administered by states, for individuals who meet specificincome criteria established, in Arizona, by AHCCCS.

41. “Medical record coder” means an individual who assignscodes to a patient’s diagnoses and procedures for billingpurposes.

42. “Medical record transcriptionist” means an individualwho copies and edits dictation from medical practitionersinto medical records.

43. “Medical records” mean the same as in A.R.S. § 12-2291.44. “Medicare cost report” means the annual financial and

statistical documents submitted to the United StatesDepartment of Health and Human Services as required byTitle XVIII of the Social Security Act.

45. “Medicare-certified” means that a health care institutionis authorized by the United States Department of Healthand Human Services to bill Medicare for services pro-vided to patients or residents who are eligible to receiveMedicare.

46. “Midnight census” means a count of the number ofpatients or residents in a health care institution at 12:00a.m.

47. “Net assets” means the same as “net assets” in generallyaccepted accounting principles.

48. “Non-covered ancillary services” means activities, suchas rehabilitation services, laboratory tests, or x-rays, pro-vided to an individual in a health care institution that arepaid for by:a. A payer source other than ALTCS, orb. ALTCS to an entity that is not a health care institu-

tion.49. “Nursery patient” means a newborn who was born in a

hospital and not admitted to a type of bed that is countedtoward the hospital’s licensed capacity.

50. “Nursing care institution-based hospice” means a hospicethat operates as a part of a nursing care institution.

51. “Nursing personnel” means the individuals authorized bya health care institution to provide nursing services to apatient or resident.

52. “Occupancy rate” means the midnight census divided bythe number of available beds, expressed as a percent.

53. “Operating expense” means the same as “operatingexpense” in generally accepted accounting principles.

54. “Outpatient hospice services” means hospice servicesprovided at a location outside a hospice inpatient facility.

55. “Outpatient surgery” means surgery that does not requirea patient to receive inpatient services in a hospital.

56. “Owner” means the same as in A.A.C. R9-10-101.



57. “Patient care day” means a calendar day during which ahospice provides hospice services to a patient.

58. “Patient day” means a period during which a patientreceived inpatient services with:a. The time between the midnight census on two suc-

cessive calendar days counting as one period, andb. The day of discharge being counted only when the

patient is admitted and discharged on the same day.59. “Person” means the same as in A.R.S. § 41-1001.60. “Practical nurse” means an individual licensed under

A.R.S. Title 32, Chapter 15, Article 2, to practice practi-cal nursing, as defined in A.R.S. § 32-1601.

61. “Registered nurse” means an individual licensed underA.R.S. Title 32, Chapter 15, Article 2, to practice profes-sional nursing, as defined in A.R.S. § 32-1601.

62. “Rehabilitation services” means the same as in A.A.C.R9-10-201.

63. “Resident day” means a period during which a residentreceived nursing services or health-related services pro-vided by a nursing care institution with:a. The time between the midnight census on two suc-

cessive calendar days counting as one period, andb. The day of discharge being counted only when the

resident is admitted and discharged on the same day.64. “Respite care services” means the same as in A.R.S. § 36-

401.65. “Revenue” means the same as “revenue” in generally

accepted accounting principles.66. “Routine home care” means hospice services provided in

a patient’s residence to a patient who does not requirenursing services to be available 24 hours a day.

67. “Rural” means the same as in A.R.S. § 36-2171.68. “Self-pay” means that charges for hospice services are

billed to an individual.69. “Social worker” means an individual licensed according

to A.R.S. §§ 32-3291, 32-3292, or 32-3293.70. “Statement of cash flows” means the same as “statement

of cash flows” in generally accepted accounting princi-ples.

71. “Surgery” means the excision of a part of a patient’s bodyor the incision into a patient’s body for the correction of adeformity or defect; repair of an injury; or diagnosis,amelioration, or cure of disease.

72. “Turnover rate” means:a. For a hospital, a percent calculated by dividing the

number of individuals employed by the hospital whoresign or retire from or are dismissed by the hospitalduring a reporting period by the average number ofindividuals employed during the reporting period; or

b. For a nursing care institution, a percent calculatedby dividing the number of employees who resign orretire from or are dismissed by a nursing care institu-tion during a reporting period by the average numberof employees during the reporting period.

73. “Uniform accounting report” means a document thatmeets the requirements of A.R.S. § 36-125.04 and con-tains the information required in R9-11-203 for hospitals,R9-11-204 for nursing care institutions, and R9-11-205for hospices.

74. “Unscheduled medical services” means the same as inA.R.S. § 36-401.

75. “Urban” means an area not defined as “rural.”76. “Urgent care unit” means a facility under a hospital’s

license that is:a. Located within one-half mile of the hospital, and

b. Designated by the hospital for the provision ofunscheduled medical services for medical conditionsthat are of a less critical nature than emergency med-ical conditions.

77. “Vacancy rate” means a percent calculated by dividingthe number of unfilled FTEs at the end of a hospital’sreporting period by the sum of the unfilled FTEs andfilled FTEs at the end of the hospital’s reporting period.

78. “Volunteer” means the same as in A.A.C. R9-10-801.

Historical NoteSection repealed, new Section adopted effective June 25, 1993, through an exemption from A.R.S. Title 41, Chap-ter 6 pursuant to Laws 1992, Ch. 197, § 2; received in the Office of the Secretary of State June 10, 1993 (Supp. 93-2). Former R9-11-201 recodified to R9-11-202; new R9-11-201 recodified from R9-11-102 at 10 A.A.R. 3835,

effective August 24, 2004 (Supp. 04-3). Section repealed; new Section made by final rulemaking at 13 A.A.R.

3648, effective December 1, 2007 (Supp. 07-4).

R9-11-202. Hospital Annual Financial StatementA. A hospital administrator or designee shall submit to the

Department, no later than 120 calendar days after the endingdate of the hospital's fiscal year:1. An annual financial statement prepared according to gen-

erally accepted accounting principles; 2. A report of an audit by an independent certified public

accountant of the annual financial statement required insubsection (A)(1); and

3. An attestation, signed and dated by the hospital adminis-trator or designee, that the hospital is not passing on thecost of the hospital assessment, established in A.R.S. §36-2901.08(A), to a patient or a third-party payor that isresponsible for paying for the patient’s care.

B. If a hospital is part of a group of health care institutions thatprepares a combined annual financial statement and isincluded in the combined annual financial statement, the hos-pital administrator or designee may submit the combinedannual financial statement if the combined annual financialstatement:1. Is prepared according to generally accepted accounting

principles,2. Identifies the hospital, and3. Contains a financial statement specific to the hospital.

C. The Department shall grant a hospital a 30-day extension forsubmitting an annual financial statement and audit of theannual financial statement required in subsection (A) if thehospital administrator or designee submits a written requestfor an extension that:1. Includes the name, physical address, mailing address, and

telephone number of the hospital;2. Includes the name, telephone number, mailing address,

and e-mail address of:a. The hospital administrator; andb. An individual, in addition to the hospital administra-

tor, who may be contacted about the extensionrequest;

3. Includes the date the hospital's annual financial statementand audit of the annual financial statement is due to theDepartment;

4. Specifies that the hospital is requesting a 30-day exten-sion from submitting the annual financial statement andaudit of the annual financial statement required in subsec-tion (A); and



5. Is submitted to the Department at least 30 calendar daysbefore the annual financial statement and audit of theannual financial statement is due to the Department.

D. The Department shall send a written notice of approval of a30-day extension to a hospital that submits a request for anextension that meets the requirements specified in subsection(C) within seven business days after receiving the request.

E. If a request by a hospital administrator or designee for a 30-day extension does not meet the requirements specified in sub-section (C), the Department shall provide to the hospital awritten notice that specifies the missing or incomplete infor-mation. If the Department does not receive the missing orincomplete information within 10 calendar days after the dateon the written notice, the Department shall consider the hospi-tal's request withdrawn.

F. Before the end of the 30-day extension specified in subsection(C), a hospital administrator or designee may request an addi-tional extension for submitting an annual financial statementand audit of the annual financial statement by submitting awritten request that:1. Includes the information specified in subsections (C)(1)

through (C)(3),2. Specifies for how many calendar days the hospital is

requesting an extension from submitting the annual finan-cial statement and audit of the annual financial statement,

3. Is submitted to the Department at least 14 calendar daysbefore the annual financial statement and audit of theannual financial statement is due to the Department, and

4. Includes the reasons for the additional extension request.G. In determining whether to approve or deny a request for a hos-

pital to receive an additional extension as specified in subsec-tion (F) for submitting an annual financial statement and auditof the annual financial statement, the Department shall con-sider the following:1. The reasons for the additional extension request provided

according to subsection (F)(4);2. The length of time for which the additional extension is

being requested according to subsection (F)(2); and3. If the hospital has a history of the following items:

a. Repeated violations of the same statutes or rules,b. Patterns of noncompliance with statutes or rules,c. Types of violations of statutes or rules,d. Total number of violations of statutes or rules,e. Length of time during which violations of statutes or

rules have been occurring, andf. Noncompliance with an agreement between the

Department and the hospital.H. The Department shall send written notice of approval or denial

to a hospital that requests an additional extension specified insubsection (F) for submitting an annual financial statementand audit of the annual financial statement within seven busi-ness days after receiving the request.

I. If the Department denies a request for an additional extensionspecified in subsection (F), a hospital may appeal the denialaccording to A.R.S. Title 41, Chapter 6, Article 10.

J. If a hospital administrator or designee does not submit anannual financial statement and a report of an audit of theannual financial statement according to this Section, theDepartment may assess civil penalties as specified in A.R.S. §36-126.

Historical NoteSection repealed, new Section adopted effective June 25, 1993, through an exemption from A.R.S. Title 41, Chap-ter 6 pursuant to Laws 1992, Ch. 197, § 2; received in the Office of the Secretary of State June 10, 1993 (Supp. 93-2). Former R9-11-202 recodified to R9-11-203; new R9-

11-202 recodified from R9-11-201 at 10 A.A.R. 3835, effective August 24, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(E) at 12 A.A.R. 1784, effective January 31, 2006 (Supp. 06-2). New Section made by

final rulemaking at 13 A.A.R. 3648, effective December 1, 2007 (Supp. 07-4). Amended by exempt rulemaking at

20 A.A.R. 99, effective January 1, 2014 (Supp. 13-4).

R9-11-203. Hospital Uniform Accounting ReportA. A hospital administrator or designee shall submit a uniform

accounting report to the Department, in a format specified bythe Department, no later than 150 calendar days after the end-ing date of the hospital’s fiscal year.

B. A hospital administrator or designee shall submit a copy of thehospital’s Medicare cost report, if applicable, as part of theuniform accounting report required in subsection (A).

C. The uniform accounting report required in subsection (A) shallinclude the following information:1. The name, physical address, mailing address, county, and

telephone number of the hospital;2. The name, telephone number, and e-mail address of the:

a. Hospital administrator,b. Hospital chief financial officer, andc. Individual who prepared the uniform accounting

report;3. The identification number assigned to the hospital:

a. By the Department;b. By AHCCCS, if applicable;c. By Medicare, if applicable; andd. As the hospital’s national provider identifier;

4. The hospital’s classification;5. Whether the entity that is the owner of the hospital is:

a. Not for profit;b. For profit; orc. A federal, state, or local government agency;

6. Whether or not the hospital is Medicare-certified;7. The ending date of the hospital’s reporting period;8. If the hospital began operations during the hospital’s

reporting period, the date on which the hospital beganoperations;

9. The date the uniform accounting report was submitted tothe Department;

10. The licensed capacity, for each type of bed, at the end ofthe reporting period;

11. The licensed capacity at the end of the reporting period;12. The number of available beds, for each type of bed, at the

end of the reporting period;13. The number of available beds at the end of the reporting

period;14. The number of admissions, for each type of bed, during

the reporting period;15. The total number of admissions during the reporting

period;16. The total number of patient days:

a. During the reporting period, andb. For each type of bed during the reporting period;

17. The average occupancy rate for the reporting period;18. The number of inpatient surgeries during the reporting

period;19. The number of outpatient surgeries during the reporting

period;20. The number of births during the reporting period;21. The number of nursery patient admissions during the

reporting period;22. The number of patient days for nursery patients during

the reporting period;



23. The number of episodes of care during the reportingperiod provided by the:a. Emergency department,b. Urgent care unit, andc. Trauma center;

24. The total number of episodes of care during the reportingperiod provided by the emergency department, urgentcare unit, or trauma center;

25. The number of episodes of care in the emergency depart-ment, urgent care unit, or trauma center during the report-ing period for which the patient was subsequentlyadmitted to the hospital;

26. The total number of FTEs at the end of the reportingperiod;

27. The turnover rate for the reporting period;28. The vacancy rate for the reporting period;29. The number of FTEs, for each type of employee, during

the reporting period;30. The vacancy rate, for each type of employee, for the

reporting period;31. The number of medical record coder FTEs during the

reporting period;32. The vacancy rate for medical record coders for the report-

ing period;33. The number of medical record transcriptionist FTEs

during the reporting period;34. The vacancy rate for medical record transcriptionists for

the reporting period;35. For individuals who worked for the hospital as contracted

workers during the reporting period, the number of hoursworked by registered nurses;

36. The amount of revenue generated, for each type of reve-nue, by the hospital during the reporting period;

37. The amount of allowances given, for each type of allow-ance, by the hospital during the reporting period;

38. The total amount of revenue generated and allowancesgiven by the hospital during the reporting period;

39. The operating expenses incurred, for each type of operat-ing expense, by the hospital during the reporting period;

40. The total operating expenses incurred by the hospitalduring the reporting period;

41. The difference between the amount identified in subsec-tion (C)(38) and the amount identified in subsection(C)(40);

42. The income and expenses, other than revenue and operat-ing expenses, for each type of income received andexpense incurred by the hospital during the reportingperiod;

43. The amount of assets, for each type of asset, of the hospi-tal at the end of the reporting period;

44. The total amount of assets of the hospital at the end of thereporting period;

45. The amount of liabilities, for each type of liability, of thehospital at the end of the reporting period;

46. The total amount of liabilities of the hospital at the end ofthe reporting period;

47. The amount of net assets, for each type of net asset, of thehospital at the end of the reporting period;

48. The total amount of net assets of the hospital at the end ofthe reporting period;

49. The difference between the amount identified in subsec-tion (C)(48) and the amount identified in subsection(C)(46); and

50. The statement of cash flows required in A.R.S. § 36-125.04(C)(3), unless the statement of cash flows has been

submitted as part of the annual financial statementrequired in R9-11-202.

D. A hospital administrator or designee shall:1. On a form provided by the Department:

a. Attest that, to the best of the knowledge and belief ofthe hospital administrator or designee, the informa-tion submitted according to subsections (B) and (C)is accurate and complete; or

b. If the hospital administrator or designee has personalknowledge that the information submitted accordingto subsections (B) and (C) is not accurate or notcomplete:i. Identify the information that is not accurate or

not complete;ii. Describe the circumstances that make the infor-

mation not accurate or not complete;iii. State what actions the hospital is taking to cor-

rect the inaccurate information or make theinformation complete; and

iv. Attest that, to the best of the knowledge andbelief of the hospital administrator or designee,the information submitted according to subsec-tions (B) and (C), except the information iden-tified in subsection (D)(1)(b)(i), is accurate andcomplete; and

2. Submit the form specified in subsection (D)(1) as part ofthe uniform accounting report required in subsection (A).

E. A hospital administrator who receives a request from theDepartment for revision of a uniform accounting report notprepared according to subsections (B), (C), and (D) shallensure that the revised uniform accounting report is submittedto the Department:1. Within 21 calendar days after the date on the Depart-

ment’s letter requesting an initial revision, and2. Within seven calendar days after the date on the Depart-

ment’s letter requesting a second revision.F. If a hospital administrator or designee does not submit a uni-

form accounting report according to this Section, the Depart-ment may assess civil penalties as specified in A.R.S. § 36-126.

Historical NoteSection recodified from R9-11-202 at 10 A.A.R. 3835,

effective August 24, 2004 (Supp. 04-3). Section expired under A.R.S. § 41-1056(E) at 12 A.A.R. 1784, effective January 31, 2006 (Supp. 06-2). New Section made by

final rulemaking at 13 A.A.R. 3648, effective December 1, 2007 (Supp. 07-4).

R9-11-204. Nursing Care Institution Uniform AccountingReportA. A nursing care institution administrator or designee shall sub-

mit a uniform accounting report to the Department, in a formatspecified by the Department, no later than 150 calendar daysafter the ending date of the nursing care institution’s fiscalyear.

B. A nursing care institution administrator or designee shall sub-mit a copy of the nursing care institution’s Medicare costreport, if applicable, as part of the uniform accounting reportrequired in subsection (A).


telephone number of the nursing care institution;2. The name, physical address, mailing address, and tele-

phone number of the nursing care institution’s:



a. Home office, if applicable; andb. Management company, if applicable;

3. An alternative name under which the nursing care institu-tion provides nursing services or health-related services,if applicable;

4. The identification number assigned to the nursing careinstitution:a. By the Department;b. By AHCCCS, if applicable;c. By Medicare, if applicable; andd. As the nursing care institution’s national provider

identifier;5. The name, telephone number, and e-mail address of the:

a. Nursing care institution administrator;b. Nursing care institution chief financial officer;c. Individual who prepared the uniform accounting

report; andd. Individual whom the Department may contact about

the uniform accounting report at the:i. Home office, if applicable; andii. Management company, if applicable;

6. The beginning and ending dates of the nursing care insti-tution’s reporting period;

7. If the nursing care institution began operations during thenursing care institution’s reporting period, the date onwhich the nursing care institution began operations;

8. The date the uniform accounting report was submitted tothe Department;

9. Whether the entity that is the owner of the nursing careinstitution is:a. Not for profit;b. For profit; orc. A federal, state, or local government agency;

10. Whether or not the nursing care institution is Medicare-certified;

11. The licensed capacity at the beginning and end of thereporting period;

12. The total number of available beds at the beginning andend of the reporting period;

13. If the nursing care institution has a distinct unit forpatients whose payer source is Medicare, the number oflicensed beds in that unit at the beginning and end of thereporting period;

14. The number of resident admissions during the reportingperiod;

15. The number of resident days during the reporting period:a. For each payer source that is not ALTCS, andb. For each level of care for residents whose payer

source is ALTCS;16. The total number of resident days during the reporting

period;17. The average occupancy rate for the reporting period;18. The number of paid hours during the reporting period for

each of the following types of employees:a. Registered nurses,b. Practical nurses, andc. Certified nursing assistants;

19. The number of hours worked during the reporting periodby each of the following types of employees:a. Registered nurses,b. Practical nurses, andc. Certified nursing assistants;

20. The amount in salaries paid, excluding employee-relatedexpenses, for each of the following types of employees:a. Registered nurses,b. Practical nurses, and

c. Certified nursing assistants;21. The number of each of the following types of employees

at the beginning of the reporting period:a. Registered nurses,b. Practical nurses, andc. Certified nursing assistants;

22. The number of each of the following types of employeesat the end of the reporting period:a. Registered nurses,b. Practical nurses, andc. Certified nursing assistants;

23. For staff employed by the nursing care institution duringthe reporting period as registered nurses, practical nurses,or certified nursing assistants, the total:a. Number of paid hours;b. Number of hours worked;c. Amount in salaries paid, excluding employee-

related expenses;d. Number of staff at the beginning of the reporting

period; ande. Number of staff at the end of the reporting period;

24. The turnover rate for the reporting period for:a. Registered nurses,b. Practical nurses, andc. Certified nursing assistants;

25. The total turnover rate for the reporting period for allemployees of the nursing care institution who are regis-tered nurses, practical nurses, or certified nursing assis-tants;

26. The number of hours worked during the reporting periodby each of the following types of contracted workers:a. Registered nurses,b. Practical nurses, andc. Certified nursing assistants;

27. The total number of hours worked during the reportingperiod by contracted workers who are registered nurses,practical nurses, or certified nursing assistants;

28. The amount paid during the reporting period for each ofthe following types of contracted workers:a. Registered nurses,b. Practical nurses, andc. Certified nursing assistants;

29. The total amount paid during the reporting period to con-tracted workers who are registered nurses, practicalnurses, or certified nursing assistants;

30. The amount of revenue generated and allowances given,for each type of revenue or allowance, by the nursing careinstitution during the reporting period;

31. The total amount of revenue generated and allowancesgiven by the nursing care institution during the reportingperiod;

32. The operating expenses incurred by the nursing care insti-tution during the reporting period for each type of operat-ing expense;

33. The total operating expenses incurred by the nursing careinstitution during the reporting period;

34. The income and expenses, other than revenue and operat-ing expenses, for each type of income received andexpense incurred by the nursing care institution duringthe reporting period;

35. The charges for non-covered ancillary services during thereporting period:a. For each type of non-covered ancillary service,b. For each type of payer source, andc. For each type of non-covered ancillary service for

each type of payer source;



36. The total amount of non-covered ancillary charges for thereporting period;

37. If the nursing care institution has documentation of build-ing improvement costs that:a. Affected the licensed capacity:

i. The year in which each building improvementwas completed;

ii. The cost of each building improvement;iii. The licensed capacity before the building

improvement was begun;iv. The number of beds that were added as a result

of the building improvement, if applicable;v. The number of beds that were removed as a

result of the building improvement, if applica-ble; and

vi. The licensed capacity after the buildingimprovement was completed; and

b. Did not affect the licensed capacity:i. The year in which each building improvement

was completed; andii. The cost of each building improvement;

38. The amount of assets, for each type of asset, of the nurs-ing care institution at the end of the reporting period;

39. The total amount of assets of the nursing care institutionat the end of the reporting period;

40. The amount of liabilities, for each type of liability, of thenursing care institution at the end of the reporting period;

41. The total amount of liabilities of the nursing care institu-tion at the end of the reporting period;

42. The amount of equity, for each type of equity, of the nurs-ing care institution at the end of the reporting period;

43. The total amount of equity of the nursing care institutionat the end of the reporting period;


45. An equity reconciliation statement, including:a. Net equity at the beginning of the reporting period;b. The difference between the amount identified in

subsection (C)(31) and the amount identified in sub-section (C)(33);

c. Additions to equity, for each type of additionalequity, for the reporting period;

d. The total amount of additional equity for the report-ing period;

e. Deductions from equity, for each type of equitydeduction, for the reporting period;

f. The total amount of equity deduction for the report-ing period; and

g. Net equity at the end of the reporting period.D. A nursing care institution administrator or designee shall:

1. On a form provided by the Department:a. Attest that, to the best of the knowledge and belief of

the nursing care institution administrator or desig-nee, the information submitted according to subsec-tions (B) and (C) is accurate and complete; or

b. If the nursing care institution administrator or desig-nee has personal knowledge that the informationsubmitted according to subsections (B) and (C) isnot accurate or not complete:i. Identify the information that is not accurate or


mation not accurate or not complete;

iii. State what actions the nursing care institution istaking to correct the inaccurate information ormake the information complete; and

iv. Attest that, to the best of the knowledge andbelief of the nursing care institution administra-tor or designee, the information submittedaccording to subsections (B) and (C), exceptthe information identified in subsection(D)(1)(b)(i), is accurate and complete; and


E. A nursing care institution administrator who receives a requestfrom the Department for revision of a uniform accountingreport not prepared according to subsections (B), (C), and (D)shall ensure that the revised uniform accounting report is sub-mitted to the Department:1. Within 21 calendar days after the date on the Depart-


ment’s letter requesting a second revision.F. If a nursing care institution administrator or designee does not

submit a uniform accounting report according to this Section,the Department may assess civil penalties as specified inA.R.S. § 36-126.

Historical NoteNew Section made by final rulemaking at 13 A.A.R.


R9-11-205. Hospice Uniform Accounting ReportA. A hospice administrator or designee shall submit a uniform

accounting report to the Department, in a format specified bythe Department, within 150 calendar days after the end of thehospice’s fiscal year.

B. A hospice administrator or designee shall submit a copy of thehospice’s Medicare and Medicaid cost reports, if applicable, aspart of the uniform accounting report required in subsection(A).


telephone number of the hospice;2. The identification number assigned to the hospice:

a. By the Department;b. By AHCCCS, if applicable;c. By Medicare, if applicable; andd. As the hospice’s national provider identifier;

3. The beginning and ending dates of the hospice’s reportingperiod;

4. If the hospice began operations during the hospice’sreporting period, the date on which the hospice beganoperations;

5. The name, telephone number, and e-mail address of the:a. Hospice administrator,b. Hospice chief financial officer, andc. Individual who prepared the uniform accounting

report;6. The date the uniform accounting report was submitted to

the Department;7. Whether the hospice operates as a:

a. Hospice service agency, orb. Hospice service agency with one or more hospice

inpatient facilities;8. Whether the entity that is the owner of the hospice is:

a. Not for profit;b. For profit; or



c. A federal, state, or local government agency;9. Whether or not the hospice is Medicare-certified;10. The entity by which the hospice is accredited, if applica-

ble;11. Whether the hospice provides hospice services in an area

that:a. Is equal to or more than two-thirds urban,b. Is equal to or more than two-thirds rural, orc. Is less than two-thirds urban and less than two-thirds

rural;12. Whether the hospice is:

a. Free-standing,b. A hospital-based hospice,c. A nursing care institution-based hospice,d. An assisted living facility-based hospice, ore. A home health agency-based hospice;

13. If the hospice operates one or more hospice inpatientfacilities, list for each hospice inpatient facility:a. The identification number assigned to the hospice

inpatient facility by the Department;b. Whether the hospice inpatient facility is:

i. Located within a hospital;ii. Located within a nursing care institution;iii. Located within an assisted living facility; oriv. Not located within a hospital, nursing care

institution, or assisted living facility;c. The levels of care provided;d. The licensed capacity of the hospice inpatient facil-

ity;e. The total number of available beds at the beginning

and end of the reporting period; andf. The average occupancy rate for the reporting period;

14. The number of patients during the reporting period thatwere:a. Referred to the hospice,b. Admitted to the hospice,c. Died while admitted to the hospice, andd. Discharged from the hospice while living;

15. The number of patient care days, for all patients, duringthe reporting period in which the hospice provided:a. Routine home care,b. Respite care services,c. Continuous care, andd. Inpatient services;

16. The total number of patient care days during the reportingperiod for all patients;

17. The average daily census for the reporting period, calcu-lated as the number specified in subsection (C)(16)divided by the number of days in the reporting period;

18. Average length of stay, calculated as the number ofpatient care days for patients discharged during thereporting period divided by the sum of the numbers spec-ified in subsections (C)(14)(c) and (C)(14)(d);

19. Median length of stay for patients discharged during thereporting period;

20. The number of patients admitted to the hospice during thereporting period:a. By gender;b. By age group;c. By race and ethnicity;d. From:

i. A private home owned or leased by, or onbehalf of, a patient;

ii. An assisted living facility;iii. A nursing care institution;

iv. A hospital; andv. A hospice;

e. With a principal diagnosis of:i. Cancer,ii. Heart disease,iii. Dementia,iv. Lung disease,v. Kidney disease,vi. Stroke or coma,vii. Liver disease,viii. HIV-related disease,ix. Motor neuron disorder,x. Unspecified debility, andxi. A disease not specified in subsections

(C)(20)(e)(i) through (C)(20)(e)(x); andf. Whose payer source is:

i. Medicare,ii. AHCCCS,iii. Self-pay,iv. A private insurance company, andv. A payer source not specified in subsections

(C)(20)(f)(i) through (C)(20)(f)(iv);21. The total number of patient care days during the reporting

period that the hospice provided hospice services to apatient whose principal diagnosis was related to:a. Cancer,b. Heart disease,c. Dementia,d. Lung disease,e. Kidney disease,f. Stroke or Coma,g. Liver disease,h. HIV-related disease,i. Motor neuron disorder,j. Unspecified debility, andk. Any other disease not specified in subsections

(C)(21)(a) through (C)(21)(j);22. The number of FTEs providing hospice services, for each

type of employee, during the reporting period;23. The total number of FTEs providing hospice services

during the reporting period;24. The average caseload during the reporting period for a

licensed nurse, calculated as the total number of patientsassigned to licensed nurses working for the hospiceduring the reporting period, divided by the total numberof licensed nurses working for the hospice during thereporting period, for:a. Outpatient hospice services, andb. Hospice services provided in hospice inpatient facil-

ities;25. The average caseload during the reporting period for a

social worker, calculated as the total number of patientsassigned to social workers working for the hospice duringthe reporting period, divided by the total number of socialworkers working for the hospice during the reportingperiod, for:a. Outpatient hospice services, andb. Hospice services provided in hospice inpatient facil-

ities;26. The average caseload during the reporting period for

nursing personnel other than a licensed nurse, calculatedas the total number of patients assigned to nursing per-sonnel other than licensed nurses working for the hospiceduring the reporting period, divided by the total number



of nursing personnel other than licensed nurses workingfor the hospice during the reporting period, for:a. Outpatient hospice services, andb. Hospice services provided in hospice inpatient facil-

ities;27. The average caseload during the reporting period for a

chaplain, calculated as the total number of patientsassigned to chaplains working for the hospice during thereporting period, divided by the total number of chaplainsworking for the hospice during the reporting period, for:a. Outpatient hospice services, andb. Hospice services provided in hospice inpatient facil-

ities;28. The number of individuals who received bereavement

services from the hospice during the reporting period;29. The number of individuals from the hospice who pro-

vided bereavement services during the reporting period;30. The total number of volunteers during the reporting

period;31. The total number of hours that volunteers provided hos-

pice services during the reporting period;32. The number of patient care days during the reporting

period, for whom:a. The payer source was:

i. Medicare,ii. AHCCCS,iii. Self-pay,iv. A private insurance company, andv. A payer source not specified in subsections

(C)(32)(a)(i) through (C)(32)(a)(iv), andb. There was no payer source identified;

33. The total number of patient care days specified in subsec-tions (C)(32);

34. The total amount of money billed, during the reportingperiod to:a. Medicare,b. AHCCCS,c. Self-pay,d. A private insurance company, ande. A payer source not specified in subsections

(C)(34)(a) through (C)(34)(d);35. The total amount of money billed during the reporting

period;36. The amount of revenue generated, for each type of reve-

nue, by the hospice during the reporting period;37. The amount of allowances given, for each type of allow-

ance, by the hospice during the reporting period;38. The total amount of revenue generated and allowances

given by the hospice during the reporting period;39. The operating expenses incurred, for each type of operat-

ing expense, by the hospice during the reporting period;40. The total operating expenses incurred by the hospice

during the reporting period;41. The difference between the amount identified in subsec-

tion (C)(38) and the amount identified in subsection(C)(40);

42. The income and expenses, other than revenue and operat-ing expenses, for each type of income received andexpense incurred by the hospice during the reportingperiod;

43. The amount of assets, for each type of asset, of the hos-pice at the end of the reporting period;

44. The total amount of assets of the hospice at the end of thereporting period;

45. The amount of liabilities, for each type of liability, of thehospice at the end of the reporting period;

46. The total amount of liabilities of the hospice at the end ofthe reporting period;

47. The amount of net assets, for each type of net asset, of thehospice at the end of the reporting period;

48. The total amount of net assets of the hospice at the end ofthe reporting period;


50. The statement of cash flows required in A.R.S. § 36-125.04(C)(3).

D. A hospice administrator or designee shall:1. On a form provided by the Department:

a. Attest that, to the best of the knowledge and belief ofthe hospice administrator or designee, the informa-tion submitted according to subsections (B) and (C)is accurate and complete; or

b. If the hospice administrator or designee has personalknowledge that the information submitted accordingto subsections (B) and (C) is not accurate or notcomplete:i. Identify the information that is not accurate or


mation not accurate or not complete;iii. State what actions the hospice is taking to cor-


iv. Attest that, to the best of the knowledge andbelief of the hospice administrator or designee,the information submitted according to subsec-tions (B) and (C), except the information iden-tified in subsection (D)(1)(b)(i), is accurate andcomplete; and


E. A hospice administrator who receives a request from theDepartment for revision of a uniform accounting report notprepared according to subsections (B), (C), and (D) shallensure that the revised uniform accounting report is submittedto the Department:1. Within 21 calendar days after the date on the Depart-


ment’s letter requesting a second revision.F. If a hospice administrator or designee does not submit a uni-

form accounting report according to this Section, the Depart-ment may assess civil penalties as specified in A.R.S. § 36-126.

Historical NoteNew Section made by final rulemaking at 13 A.A.R.


R9-11-206. Reserved

R9-11-207. Reserved

R9-11-208. Reserved

R9-11-209. Reserved

R9-11-210. Reserved

R9-11-211. Repealed

Historical NoteAdopted effective January 16, 1976 (Supp. 76-1).




State June 10, 1993 (Supp. 93-2).

R9-11-212. Repealed



State June 10, 1993 (Supp. 93-2).

R9-11-213. Repealed



State June 10, 1993 (Supp. 93-2).

ARTICLE 3. RATES AND CHARGES SCHEDULES

R9-11-301. DefinitionsIn this Article, unless otherwise specified:

1. “Adolescent” means an individual the hospital designatesas an adolescent based on the hospital’s criteria.

2. “Adult” means the same as in A.A.C. R9-10-201.3. “Behavioral health service” means the same as in A.A.C.

R9-20-101.4. “Blood bank cross match” means a laboratory analysis,

performed by a facility that stores and preserves donatedblood, to test the compatibility of a quantity of blooddonated by one individual with another individual who isthe intended recipient of the blood.

5. “Complete blood count with differential” means enumer-ating the number of red blood cells, platelets, and whiteblood cells in a sample of an individual’s blood, andincluding in the enumeration of white blood cells thenumber of each type of white blood cell.

6. “Contrast medium” means a substance opaque to x-rays,radio waves, or electromagnetic radiation that enhancesan image of internal body structures.

7. “CT” means Computed Tomography, a diagnostic proce-dure in which x-ray measurements from many angles areused to provide images of internal body structures.

8. “Current rates and charges information” means the mostrecent rates and charges schedule for a health care institu-tion on file with the Department, and all documentschanging the most recent rates and charges schedule.

9. “Drug” means the same as in A.R.S. § 32-1901.10. “EEG” means electroencephalogram, a diagnostic proce-

dure used to measure the electrical activity of the brain.11. “EKG” means electrocardiogram, a diagnostic procedure

used to measure the electrical activity of the heart.12. “Facility” means a building and associated personnel and

equipment that perform a particular service or activity.13. “Formulary” means a list of drugs that are available to a

patient through a hospital.14. “Home health agency” means the same as in A.R.S. § 36-

151.15. “Home health agency administrator” means the chief

administrative officer for a home health agency.16. “Hospital department” means a subdivision of a hospital

providing administrative oversight for one or morecharge sources.

17. “Implementation date” means the month, day, and year ahealth care institution intends to begin using specific ratesand charges when billing a patient or resident.

18. “Intensive care bed” means an available bed used to pro-vide intensive care services, as defined in A.A.C. R9-10-201, to a patient.

19. “IVP” means intravenous pyelography, a diagnostic pro-cedure that uses an injection of a contrast medium into avein and x-rays to provide images of the kidneys, ureters,bladder, and urethra.

20. “Labor and delivery” means services provided to awoman related to childbirth.

21. “Lithotripsy” means a procedure that uses sound waves tobreak up hardened deposits of mineral salts inside thehuman body.

22. “Mark-up” means the difference between the dollaramount a hospital pays for a drug, commodity, or serviceand the charge billed to a patient.

23. “MRI” means Magnetic Resonance Imaging, a diagnosticprocedure that uses a magnetic field and radio waves toprovide images of internal body structures.

24. “Neonate” means the same as in A.A.C. R9-10-201.25. “Nursery bed” means an available bed used to provide

hospital services to a neonate.26. “Outpatient treatment center” means the same as in

A.A.C. R9-10-101.27. “Outpatient treatment center administrator” means the

chief administrative officer for an outpatient treatmentcenter.

28. “Overview form” means a document:a. Submitted by a hospital to the Department as part of

a rates and charges schedule or a change to the hos-pital’s current rates and charges information, and

b. That contains the information required in R9-11-302(B)(2) for the hospital.

29. “Pediatric” means the same as in A.A.C. R9-10-201.30. “Pediatric bed” means an available bed used to provide

hospital services to a pediatric patient.31. “Physical therapy” means the same as in A.R.S. § 32-

2001.32. “Post-hospital extended care services” means the services

that are described in and meet the requirements of 42CFR 409.31.

33. “Private room” means a room that contains one availablebed.

34. “Rate” means a specific dollar amount per unit of serviceset by a health care institution.

35. “Rates and charges schedule” means a document thatmeets the requirements of A.R.S. Title 36, Chapter 4,Article 3 and contains the information required in R9-11-302(B) for hospitals, R9-11-303(A)(2) for nursing careinstitutions, R9-11-304(A)(2) for home health agencies,or R9-11-305(A)(2) for outpatient treatment centers.

36. “Rehabilitation bed” means a type of bed used to provideservices to a patient to restore or to optimize the patient’sfunctional capability.

37. “Review” means an analysis of a document to ensure thatthe document is in compliance with the requirements ofthis Article.

38. “Semi-private room” means a room that contains twoavailable beds.

39. “Skilled nursing bed” means an available bed used for apatient requiring skilled nursing services.

40. “Skilled nursing services” means nursing services pro-vided by an individual licensed under A.R.S. Title 32,Chapter 15.



41. “Small volume nebulizer” means a device that:a. Holds liquid medicine that is turned into a mist by an

air compressor, andb. Is used for treatments lasting less than 20 minutes.

42. “Swing bed” means an available bed for which a hospitalhas been granted an approval from the Centers for Medi-care and Medicaid Services to provide post-hospitalextended care services and be reimbursed as a swing-bedhospital.

43. “Swing-bed hospital” means the same as in 42 CFR413.114.

44. “Trauma team activation” means a notification by ahealth care institution:a. That alerts individuals designated by the health care

institution to respond to a particular type of emer-gency;

b. That is based on a patient’s triage information; andc. For which the health care institution uses Revenue

Category 068X of the National Uniform BillingCommittee, UB-04 Data Specifications Manual tobill charges.

45. “Ultrasound” means a diagnostic procedure that useshigh-frequency sound waves to provide images of inter-nal body structures.

Historical NoteAdopted effective May 22, 1989 (Supp. 89-2). Repealed

effective June 25, 1993, through an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws 1992, Ch.

197, § 2; received in the Office of the Secretary of State June 10, 1993 (Supp. 93-2). New Section adopted effec-

tive February 22, 1995, through an exemption from A.R.S. Title 41, Chapter 6 pursuant to Laws 1994, Ch. 115, § 9 (Supp. 95-1). Former R9-11-301 recodified to

R9-11-401; new R9-11-301 recodified from R9-11-103 at 10 A.A.R. 3835, effective August 24, 2004 (Supp. 04-3). Section repealed; new Section made by final rulemaking at 13 A.A.R. 3648, effective December 1, 2007 (Supp.

07-4).

R9-11-302. Hospital Rates and Charges ScheduleA. Before a hospital provides services to patients, a hospital

administrator or designee shall submit to the Department arates and charges package that contains:1. A cover letter that includes:

a. The name, physical address, mailing address,county, and telephone number of the hospital;

b. The identification number assigned to the hospital:i. By the Department;ii. By AHCCCS, if applicable;iii. By Medicare, if applicable; andiv. As the hospital’s national provider identifier;

c. The name, telephone number, and e-mail address of:i. The hospital administrator,ii. The hospital chief financial officer, andiii. Another individual involved in the preparation

of the rates and charges package whom theDepartment may contact regarding the ratesand charges package; and

d. The planned implementation date for the rates andcharges;

2. A rates and charges schedule prepared as specified insubsection (B); and

3. A form provided by the Department, on which the hospi-tal administrator or designee:

a. Attests that, to the best of the knowledge and beliefof the hospital administrator or designee, the infor-mation submitted according to subsections (A)(1)and (B) is accurate and complete; or

b. If the hospital administrator or designee has personalknowledge that the information submitted accordingto subsections (A)(1) and (B) is not accurate or notcomplete:i. Identifies the information that is not accurate or

not complete;ii. Describes the circumstances that make the

information not accurate or not complete;iii. States what actions the hospital is taking to cor-


iv. Attests that, to the best of the knowledge andbelief of the hospital administrator or designee,the information submitted according to subsec-tions (A)(1) and (B), except the informationidentified in subsection (A)(3)(b)(i), is accurateand complete.

B. A hospital administrator shall ensure that a rates and chargesschedule:1. Contains a table of contents for the rates and charges

schedule that lists:a. The beginning line number or page number for the

hospital rates and charges overview form required insubsection (B)(2);

b. For each hospital department:i. The hospital department’s name and identifica-

tion number,ii. The beginning line number or page number of

the rates and charges schedule for the hospitaldepartment, and

iii. The charge source’s name and identificationnumber for each charge source within the hos-pital department;

c. The beginning line number or page number for thelist required in subsection (B)(4) that matches thename of each charge source with its charge sourceidentification number;

d. The beginning line number or page number for theformula section for formulary, commodity, and con-tracted services mark-ups required in subsection(B)(5); and

e. The beginning line number or page number for thecopy of the hospital’s allowance rules and formulaerequired in subsection (B)(6);

2. Contains an overview form, in a format specified by theDepartment, that includes:a. The hospital’s name, city, and county;b. The identification number assigned to the hospital

by the Department;c. The name, telephone number, and e-mail of

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